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SEC RIN: 3235-AL67 Publication ID: Fall 2017 
Title: Disclosure of Order Handling Information 

The Commission proposed to amend Exchange Act Rules 600 and 606 in order to standardize and increase transparency for institutional customers with regard to how broker-dealers route their order flow, and to enhance current order routing disclosures for retail orders.

Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
EO 13771 Designation: Independent agency 
CFR Citation: 17 CFR 242.600    17 CFR 242.606   
Legal Authority: 15 U.S.C. 78b    15 U.S.C. 78c(b)    15 U.S.C. 78k-1    15 U.S.C. 78o(f)    15 U.S.C. 78q(a)    15 U.S.C. 78q(b)    15 U.S.C. 78w(a)   
Legal Deadline:  None
Action Date FR Cite
NPRM  07/27/2016  81 FR 49432   
NPRM Comment Period End  09/26/2016 
Final Action  10/00/2018 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: Undetermined 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL:  
RIN Data Printed in the FR: No 
Agency Contact:
Neel Maitra
Division of Trading and Markets
Securities and Exchange Commission
100 F Street, NE,
Washington, DC 20549
Phone:202 551-7637